Recently, the Missouri Securities Division alleged that Becky Halphin, a broker with General Securities Corp, borrowed money from at least two customers of the firm between November 2010 and October 2012. Allegedly, Halphin used the money to invest in real estate properties in the Kansas City area. This is against securities rules and regulations and Halphin was ordered to pay $500 and a deferred fine of $4,500. According to her Financial Industry Regulatory Authority (FINRA) online BrokerCheck report, Ms. Halphin was registered with Pruco Securities Corp in Newark, New Jersey from November 1993 until June 1996, NYLife Securities in New York, New York from July 1996 until March 1998, BMA Financial Services in Kansas City, Missouri from September 1999 until December 2001, Princor Financial Services in Des Moines, Iowa from January 2002 until November 2004 and General Securities Corp in North Kansas City, Missouri from September 2006 until September 2014. She is not licensed within the industry. Please call us today for your free consultation with an attorney to discuss your options.
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